Compliance - Market Surveillance - Analyst

Review and Oversight of Controls
Review of surveillance exceptions with Business Personnel and Compliance Officers.
Ensure that surveillance reviews are being performed properly from a qualitative and timeliness perspective.
Oversight of exception reviews generated by detective controls.
Identify enhancements to existing controls.
Test the integrity of system controls and surveillance reports by participating in testing programs and validating test results.
Participate in periodic risk assessments. Development of Controls
Partner with Business Personnel, Compliance Officers, and Compliance Technology to develop and/or enhance system controls, surveillances and associated procedures and training.
Apply a consistent approach across businesses, products and regions.
Develop associated functional specifications and testing scripts.
Develop and/or enhance systematic processes for escalating issues.
Develop and/or enhance tools to track repeat offenders and identify patterns of problematic activity across businesses, products and regions.
Coordinate issues, findings and practices with colleagues across regions and/or divisions.
Generation of management reports / Management information Systems.
Reporting of exception reviews generated by detective controls.

Preferred Qualifications:
Inquisitive and proactive in identifying risks and proposing solutions.
Good interpersonal skills and excellent written/oral communication skills.
Ability to work with a variety of senior and junior people and build smooth working relationships.
Highest attention to detail.
Good team player - one who is able to prioritize in a fast moving, constantly changing environment.
Entrepreneurial inclination - ability to work alone and act as project manager.
Strong analytical and problem solving skills with the ability to exercise sound and balanced judgment.
Ability to handle multiple tasks simultaneously and work under tight deadlines.
Good understanding of Equity and Futures market.